- National Life Group (Montpelier, VT)
- …business in New York. Equity Services, Inc., Member FINRA/SIPC, is a Broker / Dealer and Registered Investment Adviser affiliate of National Life Insurance ... Life & Annuity Deputy Chief Compliance Officer/Sr. Compliance Director Company Summary Come join one of America's fastest growing insurance companies with a stable… more
- National Life Group (Montpelier, VT)
- …business in New York. Equity Services, Inc., Member FINRA/SIPC, is a Broker / Dealer and Registered Investment Adviser affiliate of National Life Insurance ... 1 or more years related work experience and an Associate 's Degree, Technical/ Trade School Certificate, or 2 or...and vision insurance; a company funded wellness account for director and below employees; 10 paid holidays; a generous… more
- Robert Half Finance & Accounting (New York, NY)
- Description Robert Half Financial Services are currently recruiting for an Associate Director of Compliance role for a $100+bn AUM Global Investment firm based ... New York. Our client requires 8+ years Investment and Broker Dealer Compliance experience within a Registered...or 14 Licenses are advantageous. + Bachelor Degree. The Associate Director of Compliance role requires 3… more
- Wells Fargo (Washington, DC)
- …and initiatives; and banking for private wealth clients + Advise on bank and broker dealer regulatory requirements applicable to banking and lending activities + ... **About this role:** Wells Fargo is seeking an Associate General Counsel, Executive Director in...Experience as a practicing attorney with securities-based bank and broker dealer lending products; custom and mortgage… more
- Kestra Financial (Novi, MI)
- …potentially complex processes and/or concepts to clients + Successfully partner with Broker Dealer for new account establishment, account maintenance, and ... The Wealth Associate position is a client service position who...Other responsibilities as assigned by the Wealth Advisor and Director of Operations. Knowledge, Skills, and/or Abilities: + Advanced… more
- SMBC (Jersey City, NJ)
- …Group's wholesale and retail banking operations; US and LATAM representative offices; US broker dealer and registered swap deal; Cayman Branch; Canada Branch; ... portfolio of benefits to its employees. **Role Description** SMBC Group is seeking an Associate to join the Compliance Controls Inventory team, which is a part of… more
